DFX Intelligence

A••••• A••• W•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner11 years in industry

A••••• A••• W•••••••

Advisor at C••• P•••••••

OFALLON, MO | Quincy, IL

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Search this name across graphsid dfx:ria:4ec7070c-29e4-162f-3223-5f2fe0b43720

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Jan 23, 2015 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••• P•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 23, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• P•••••••	Independent wealth	Mar 23, 2026	n/a	yes	Quincy, IL\|OFALLON, MO	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Mar 18, 2025	Mar 21, 2026	no	FREDERICK, MD\|Quincy, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C••• P•••••••	Mar 21, 2026	Mar 23, 2026	2	Firm change	Ibd to RIA
A••••••• F•••••••• A•••••••• L••	L•• F•••••••• L••	May 8, 2024	Mar 18, 2025

Relationships

Registered with (7)

→ C••• P•••••••Registered adviserregistration: current employment
Mar 23, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 18, 2025 to Mar 21, 2026factForm ADV
→ A••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 6, 2023 to May 8, 2024factForm ADV
→ B•••• F•••••••• A•••••••• I•••

Dated events

Occurred
Mar 21, 2026
Advisor changed firm
A••••• A••• W••••••• left L•• F•••••••• L•• for C••• P••••••• (registered 2026-03-23)
Form ADVobserved 7 days ago
Occurred
May 8, 2024
Advisor changed firm
A••••• A••• W••••••• left A••••••• F•••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2025-03-18)
Form ADVobserved 7 days ago
Occurred
Nov 2, 2023
Advisor changed firm
A••••• A••• W••••••• left B•••• F•••••••• A•••••••• I••• for A••••••• F•••••••• A•••••••• L•• (registered 2023-11-06)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4ec7070c-29e4-162f-3223-5f2fe0b43720
First observed: Jan 23, 2015
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.